The Policy Cycle and its Practicle Application
Masters Degree in Journalism and Media Studies
Media Policies and Institutions
26 Jan. - 6 Febr.
dr. Leo Van Audenhove
What is policy ?
• Policy often used term
■ often used in pers, television news, etc.
■ central concept in political debate
■ seldom question what it really means
• In current language use different meanings
■ What does policy mean according to you?
• Policy best seen as a process
■ Policy is a complex long-term process with many
input and output factors
✖ scientific view
✖ seldom appears in daily language use
■ Policy often depicted as a snapshot of reality
■ However, in reality
✖ complex non-lineair process
✖ multi-factorial process
✖ not perfectly deleniatable
✖ not reducible to a single document, decision or
• Scientifically more interesting to see it as a process
■ also for journalists interesting to take a broader
✖ to situate events in their historical context
✖ to see events as part of a more complex policy
What is policy?
• No single scientific definition
■ different points of view - diverging definitions
■ Parsons: Public Policy
two tear definition:
It is concerned with how issues and problems
come to be defined and constructed and how
they are placed on the political and policy
But it is also the study of ‘how, why and to what
effect governments pursue particular courses of
action or inaction’
• Policy not only about politics
■ about implementation — administration
■ social change as result of government action (or
• Policy often seen as a phased linear or circular process
B/ don’t work
Building of telecentres
Problem Information Society
Access to Information
A/ Individual Access
B/ Community Access
Evaluation of options
Political decision for Telecentres
• Drawback of use of policy cycle
■ creates an artificial idealistic view on policy
in reality the course of policy is much more
✖ in reality policy not always rational goal-oriented
many decisions at hoc and irrational
Advantages of use of policy cycle
■ makes policy process more comprehensible
■ research stages easier to delineate
✖ each phase can be looked at separately
✖ phases can be compared e.g. in terms of
e.g. comparing goals with results
Policy process and research
• Policy process: multiple actors who design and
implement a specific plan
■ encompasses communicative, strategic and technical
actions = can be the focus of empirical research
communicative and strategic action
■ conversation: debate, meetings, negotiations,
telephone conversations, etc.
✖ Primary data: if directly accessible
✖ Secondary data: e.g. through interviews, written
■ written texts: preparatory documents, government
statements, press releases, State of the Unions,
political programmes, etc.
• technical actions
■ directly visible actions as a result of public policy
■ e.g. road construction, subsidizing of media, etc.
• Policy can be deducted from the study of
communicative, strategic and technical action
■ texts are a central element in research into policy
✖ main advantage easily accessible
✖ main disadvantage
especially strategic action mostly covert
if no written evaluations available
difficult to assess impact (requires large scale
if evaluations available by government
terms of reference politically framed
■ might be necessary to use other research methods
Policy cycle and research focus
Research focus can be linked to phases
More static than phases in cycle
■ e.g. agenda setting broader than political
■ e.g. formal policy a result of Decision
■ Delineates nicely research fields
■ Can be used as practical tool to analyze
Important to see policy as process
Not a phase in policy cycle. Part of
research which has considerable
impact on all phases and is central
What different parties say about policy
before decision is made (Rhetoric)
Processes of mediation and power to
actually come to a choice on policy
Actual policy as written down in laws,
acts, constitutions, etc.
Translation of formal policy into
Effects policy has on (aspects of)
Review of effectiveness and efficiency
Research focus and practice
• With each research focus in policy cycle look at:
What questions are relevant?
What actors play a role? How?
What sources can be used?
What methods and techniques can be used?
How to frame the research?
■ Very close to practice of researcher
■ Some of what I say might be obvious
■ Please intervene and contribute to the lecture
The Research Question
• Delineating the research question is part of the whole
■ after initial question important to narrow down
✖ on the basis of initial literature review
✖ on the basis of empirical exploration of the field
e.g. short interviews with experts
✖ on the basis of both develop:
more specific research questions and subquestions
develop hypothisis for (sub)questions
✖ Objective: provides structure and direction in
■ operationalisation of empirical research
what methods to use for what (sub)questions?
Important to keep in mind:
What is possible within the given timeframe and
On the basis of this narrow down scope and
• Practical recommendations
■ think about structure from the beginning
■ always justify you choices (in a scientific way)
acknowledge the shortcomings of your research
and the methods used
✖ also emphasise the strong points
✖ makes critique by others more difficult
■ decide on time spend and pages to be written early
in the process
• Research always starts with a specific question
• Within policy analysis two types of questions
■ Descriptive questions (Analyse of policy)
What is South Africa’s media policy?
✖ What is the discussion on community radio?
✖ Has South Africa’s telecentre policy been effective?
■ Prescriptive questions (Analyse for policy)
✖ What policy should SA adopt on 3G mobile?
✖ What type of regulation is most effective to reach
higher telephone penetration in rural areas?
■ Policy analysis often a combination of both
✖ We focus on the first type of questions
What Methods to Use
• Analysis of text
■ Critical reading
analysis of most important arguments, assumptions,
goals and means in texts
✖ often main source for simple analysis
■ Goals -Means analysis
✖ schematic tool to map goals, means and their
connections (often applied in formal policy texts,
e.g. laws, etc.)
■ Content analysis
in depth research looking at changes in texts
used for larger amount of texts
✖ research focusses on evolutions
e.g. changes in language on multi-culturality in
often used in comparative research
e.g. comparison of law texts in Holland and
■ Discourse Analysis (qualitative research)
✖ research into the change of concepts (language
✖ look for binary oppositions
• Informant and expert-interviews
■ if not much written material is available
■ used to map the practice of policy as opposed to the
■ used to map the relations between stages in policy
■ often used with other methods
■ small (mostly heterogeneous) groups of people
(between 4 and 12)
■ discussing a certain issue from different angels to get
■ discussion is guided by a moderator
■ not used when issues are controversial
• Expert panel
■ small group of experts
■ debate (guided or among themselves) specific issues
■ goal to come to consensus (in written form of
✖ if consensus not reached different options are
■ only possible if access is available
■ provides in depth insight into processes
Research into Discourse
■ What different parties say about
policy before decision is made
■ What is the political discussion
around a certain topic ?
■ Has the discussion changes over
■ What are the different points of
view, assumptions and
■ What are the actors involved and
what are their views?
• What sources?
Newspaper articles (reflecting political views)
■ Text analysis
Discourse & WSIS
■ What is the political discussion regarding WSIS?
■ Press releases, internal reports, public discussions,
interviews with participants of ≠ groups, etc.
Method: critical reading
■ what points of view do actors defend?
■ systematization via themes
Contribution of civil society to the Summit
✖ Infrastructure, Access and Digital Divide
✖ Communication rights versus security
✖ Participation versus e-government
✖ vb. www.worldsummit2003.de (Themen)
■ systematization via actors
■ evolution in time
• Decision Making
■ Processes of mediation and
power to actually come to a
choice on policy.
■ Close to political analysis
■ More complex empirical research
■ Should be imbedded in
knowledge of political structure
and culture of the country
■ What are the processes of decision making? What
are the effects on policy content?
What actors are involved?
What is the interaction between actors and
What are the power relations involved?
What institutions play a role with what effect on
■ Less directly identifiable
■ Formal functioning
texts and rules on working of institutions (e.g.
■ Concrete functioning
✖ transcriptions of parliamentary discussions
✖ transcriptions and statements on meetings
✖ internal notes
✖ witness reports
✖ participatory observation
■ (discourse analysis and content analysis)
■ critical reading
■ complemented with
balance between actors and institutions
Decision Making in WSIS
■ WSIS organized under UN auspices
countries are formal members with voting rights
✖ civil society only status as observer (both private
sector and NGOs)
■ At start of negotiations around WSIS commitment to
✖ national representatives of countries
✖ civil society
✖ private sector
✖ international organisations
■ What role has civil society actually played in WSIS?
■ Discussion over statutes, statutes of NGOs, reports
and texts produced by NGOs, witness reports,
interviews with participants.
■ critical reading & interviews with participants
■ Although a lot of discussion on role of civil society
■ in the end rather limited
✖ both direct and indirect resistance to participation
■ Direct resistance
role limited to that of observator
✖ most important meetings behind closed doors
✖ civil society limited impact on Declaration and
■ Indirect resistance
✖ no administrative support
✖ meetings of civil society are kept away from official
makes communication more
■ Actual policy as written down in
laws, acts, constitutions, etc.
■ What is South Africa’s formal policy
in audiovisual media?
■ How has policy changed over time?
■ Laws, acts, white papers, etc. (in
some countries judicial decisions
part of formal policy) constituional
Methods: critical reading
Policy content and theory
• Theoretical reflections on policy
■ possible at the level of Discourse
and Formal Policy
■ Starts from theory (or review of
✖ looking at most important theory
✖ prescriptive policy
✖ central issues
■ confrontation between theory and policy
What are the differences ? Why?
✖ Does theory provides us with insights on possible
■ Comparative analysis (between countries)
✖ In what respect does policy differ from policy in
other countries? Why? With what effect?
Theory on IS-policy
• Theory: policy has to be made in five key areas
access to ICTs, media and telecommunications
✖ linked to theory on liberalization and privatization
✖ development of services and content ≠ sectors
✖ education, health, agriculture, information, etc.
• Skills and capability
■ individual skills to use technology effectively
both at home and at work
■ closely linked to the restructuring of education
■ reforming administration and government
■ e.g. in terms of e-government
All this has to be imbedded in a general socieeconomic and innovation policy for the country
Case 1: WSIS Draft Declaration
■ To what extent WSIS Draft Declaration in line with
theory of the information society?
■ Possible subquestion: What could be the
■ Review of literature on IS.
■ WSIS Declaration
■ Critical reading
■ Important emphasis on access
✖ great belief in liberalization as driving force to spread
✖ From theory we know that liberalization is difficult
✖ Many failures especially in developing countries.
■ Very narrow vision on IS
✖ reduced to the advantages of ICTs
✖ not seen as a global economic process
✖ narrow view on digital divide
digital divide more than a problem of access
very complex issue which interacts with other
✖ very weak integration between parts
Case 2: IS Policy in South Africa
■ What is SOuth Africa’s policy in terms of the
information society and how can we situate this in
the theoretical discussion on the issue?
■ Problem: no central text
■ But clear vision and lots of activities
✖ policy texts, laws, implementation
✖ spread over different departments
■ Attempt to bring structure in sources on the basis of
an analytical framework based on theory
Formal IS policy in SA
• Five key areas (see example of WSIS)
• Analysis for South Africa until mid 1996
Policy document or
OVERALL SOCIO-ECONOMIC POLICY
(economy, industry, technology and innovation)
White Paper on Science and
Science and technology geared at Arts, Culture, Science and
RDP Base Document and White
Development policy until 1996
ANC & Ministry without
Growth, Employment and
More neoliberal policy 1996
Presidential Office & Finance
Policy document or
Telecommunications Act (1997)
ICTs in education
Library and Information System
Libraries and ICTs
Education & ACST
ICTs in education
Library and Information System
Libraries and ICTs
Education & ACST
Government communication and
Authority Act (1993)
Responsible for audiovisual in
absence of policy after 1993
IBA & Communication
Policy documents and
Qualification and certification for South African Qualifications
ICTs and education
White Paper on Public Service
Restructuring of public service
Public Service and Administration
Affermative Action (in different
Policy geared at helping
disadvantaged into work
Public Service and Administration
• Information society complex issue
■ spread over different departments
questions in terms of policy
Is overall policy consistent?
■ Are there any overlaps or loopholes?
■ Are the right departments responsible?
at first most emphasis on infrastructure and less on
problem of integration of IS policy with overall
socio-economic and developmental strategy
■ Translation of formal policy into
■ Questions can be varied and
■ What institutions are responsible?
✖ How are responsibilities divided?
■ Is policy efficiently implemented?
✖ Are there enough resources?
✖ Is the institution capable?
■ Policy making and implementation not separated
Political influence on way of implementation?
✖ At implementation level room for interpretation?
e.g. Universal Service Agency
■ Not easily accessible
■ Role of institutions specified in policy documents.
■ Institutions often have there own guidelines
■ Internal notes, internal or external evaluations, etc.
■ Methods related to management and organization
■ Critical reading, Interviews, Participative observation
Framework to examine obstacles confronting
implementation in service delivery
arising from operational demands
Who are the people to be served?
■ What is the nature of the service to be delivered?
■ What are the potential distortions and irregularities in the population?
■ Is the programme controlable? Can it be measured? Are any parts not
What are the limits on funds? Prospects for more?
■ Is the personnel in place with the right qualification?
■ Is there enough space?
■ Is the technical equipment and infrastructure in place?
• Difficulties arising from sharing authority.
Overhead agencies: Dealing with authorities? Are they supportive?
Line agencies: How many involved? Do they work together?
Elected politicians: Are they supportive? Can they influence?
Private-sector providers: How dependent is the programme on
■ Special interest group: What are their interests and political power?
■ The Press: Has the programme high visibility? Could the media do
Onderzoek naar impact
■ Effects policy has on (aspects of)
■ What is de impact of policy?
✖ in terms of social change
✖ in termen of economic growth
✖ Population census
✖ National Bank, Economist, etc.
✖ e.g. on Internet use
• Sources (secundary)
■ year reports, evaluations, monitors, etc.
■ Review of effectiveness and
efficiency of policy
■ Analysis and interpretation of
✖ involves a value judgment
✖ involves an analytic framework
✖ over meerdere fases
■ Has policy been effective?
comparison of goals, means and impact
■ What are the enabling and constraining factors?
■ Where are the problems situated, in what phase?
■ as stated in policy phases
■ depends on the phases involved in the evaluation
■ comparison between goals and impact most
• Analytic framework = selection and value judgment
■ look out if confronted with evaluations
look at what analytical frame was used
✖ who developed the evaluation framework with what
purpose in mind
✖ what questions were asked and what questions not
■ think outside of the given framework
✖ own critical reflextion
✖ knowledge of the field (literature)
■ in contract research read terms of reference
Internal versus external
• Internal versus external framework
■ internal: analytic framework based on policy process
■ external: analytic framework going outside of policy
✖ best practice
✖ review of literature
Computers in Flemish Schools
• Question: Is the infrastructural policy regarding
computers in schools effective?
• Method & Case I: Internal evaluation
■ Goal Flemish Community in 1998 was 1 computer
per 10 pupils by 2002
■ in 2001 goals reached in secondary education
Result I: policy is successful
• Method & Case II: External evaluation
■ other goal is to learn pupils how to use computers
and the Internet in their daily work at school
■ from the literature we know this only succeeds if
pupils use computers in all subjects e.g. English,
■ in Flemish schools all computers are in special
computer classes for teaching in technology or
Result II: less sucessfull
■ Does Flemish development cooperation in higher
■ Universities in the South
■ Universities in the North
■ Donors in the North (VLIR)
Methods & Case I:
■ Project-evaluation (Intern)
■ Critical reading of project evaluations
• Results I:
Projects as such often work well
Contribute to capacity building in specific areas
Problems with sustainability
Problems with scientific personal
✖ motivation and time
• Method & Case II: Broader external evaluation
■ Broader questions on the impact of cooperation at
level of institution and country
■ Look at existing project evaluation
■ Look at international literature on cooperation
■ New research at a university in the South
✖ interview with researchers involved
✖ interview with researchers not involved
✖ management of universities (deans, chancellor)
■ Isolated projects drawbacks at level of university
✖ supported areas in Western interest (human rights)
✖ competition for funds is destabilizing for institution
✖ young scientists don’t get any opportunity
✖ disintegration of central library
Evaluation and ethics
• Policy never reaches its goals
■ Interventions in social reality is very complex
■ Social change partly unpredictable
policy often fails because of unforseen factors
✖ often perverse effects
■ Politicians tend to overstate the goals
Very easy to criticize policy (scientists & journalists)
■ What is social responsibility of journalist?
✖ West: sour society, new extreme right movements
✖ South: nation building, developmental goals